Series 63: Prudent Investor Standards

Taken from our Series 63 Online Guide

Prudent Investor Standards

Modern prudent investor standards are based on an older rule known as “the prudent man” rule. Under this rule, professionals acted as fiduciaries (trusted advisors) and were expected to show the same level of care for others’ portfolios as they, or any other prudent person, would for their own. In other words, they should not subject their client’s portfolios to any more risk than the average, cautious investor would take.

Over the years, the simple requirement for professionals to compare themselv

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